Certification Report
Trustwave SIEM Enterprise Version 2.3.3
Issued by:
Communications Security Establishment
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment, 2016
Document number: 383-4-339-CR
Version: 1.0
Date: 14 April 2016
Pagination: i to iii, 1 to 10
CCS Certification Report Trustwave Holdings, Inc.
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DISCLAIMER
The Information Technology (IT) product identified in this certification report, and its
associated certificate, has been evaluated at an approved evaluation facility – established
under the Canadian Common Criteria Evaluation and Certification Scheme (CCS) – using the
Common Methodology for Information Technology Security Evaluation, Version 3.1 Revision
4, for conformance to the Common Criteria for Information Technology Security Evaluation,
Version 3.1 Revision 4. This certification report, and its associated certificate, applies only to
the identified version and release of the product in its evaluated configuration. The evaluation
has been conducted in accordance with the provisions of the CCS, and the conclusions of the
evaluation facility in the evaluation report are consistent with the evidence adduced. This
report, and its associated certificate, are not an endorsement of the IT product by the
Communications Security Establishment, or any other organization that recognizes or gives
effect to this report, and its associated certificate, and no warranty for the IT product by the
Communications Security Establishment, or any other organization that recognizes or gives
effect to this report, and its associated certificate, is either expressed or implied.
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FOREWORD
The Canadian Common Criteria Evaluation and Certification Scheme (CCS) provides a
third-party evaluation service for determining the trustworthiness of Information Technology
(IT) security products. Evaluations are performed by a commercial Common Criteria
Evaluation Facility (CCEF) under the oversight of the CCS Certification Body, which is
managed by the Communications Security Establishment.
A CCEF is a commercial facility that has been approved by the CCS Certification Body to
perform Common Criteria evaluations; a significant requirement for such approval is
accreditation to the requirements of ISO/IEC 17025:2005, the General Requirements for the
Competence of Testing and Calibration Laboratories. Accreditation is performed under the
Program for the Accreditation of Laboratories - Canada (PALCAN), administered by the
Standards Council of Canada.
The CCEF that carried out this evaluation is EWA-Canada.
By awarding a Common Criteria certificate, the CCS Certification Body asserts that the
product complies with the security requirements specified in the associated security target. A
security target is a requirements specification document that defines the scope of the
evaluation activities. The consumer of certified IT products should review the security target,
in addition to this certification report, in order to gain an understanding of any assumptions
made during the evaluation, the IT product's intended environment, the evaluated security
functionality, and the testing and analysis conducted by the CCEF.
This certification report is associated with the certificate of product evaluation dated 14 April
2016, and the security target identified in Section 4 of this report.
The certification report, certificate of product evaluation and security target are posted on the
CCS Certified Products list (CPL) and the Common Criteria portal (the official website of the
Common Criteria Project).
Reproduction of this report is authorized provided the report is reproduced in its entirety.
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TABLE OF CONTENTS
Disclaimer....................................................................................................................................... i
Foreword........................................................................................................................................ii
Executive Summary...................................................................................................................... 1
1 Identification of Target of Evaluation................................................................................. 2
2 TOE Description ................................................................................................................... 2
3 Security Policy....................................................................................................................... 2
4 Security Target...................................................................................................................... 3
5 Common Criteria Conformance.......................................................................................... 3
6 Assumptions and Clarification of Scope............................................................................. 4
6.1 SECURE USAGE ASSUMPTIONS................................................................................... 4
6.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 4
7 Evaluated Configuration...................................................................................................... 5
8 Documentation ...................................................................................................................... 5
9 Evaluation Analysis Activities ............................................................................................. 6
10 ITS Product Testing.............................................................................................................. 7
10.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 7
10.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 7
10.3 INDEPENDENT PENETRATION TESTING....................................................................... 7
10.4 CONDUCT OF TESTING ............................................................................................... 8
10.5 TESTING RESULTS...................................................................................................... 8
11 Results of the Evaluation...................................................................................................... 8
12 Acronyms, Abbreviations and Initializations..................................................................... 9
13 References............................................................................................................................ 10
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Executive Summary
Trustwave SIEM Enterprise Version 2.3.3 is the Target of Evaluation (TOE). The results of
this evaluation demonstrate that Trustwave SIEM Enterprise Version 2.3.3 meets the
requirements of Evaluation Assurance Level (EAL) 2 augmented for the evaluated security
functionality.
Trustwave SIEM Enterprise Version 2.3.3 provides Security Information and Event
Management (SIEM) functionality to normalize and correlate security information received
from third party security devices. These third party security devices may include Trustwave
SIEM LME appliances, intrusion detection system/intrusion prevention system sensors
and/or scanners, firewalls, servers, or other types of systems capable of sending security
information to the TOE. The received information is correlated and analyzed by the TOE to
determine if any alerts should be generated.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
14 April 2016 and was carried out in accordance with the rules of the Canadian Common
Criteria Evaluation and Certification Scheme (CCS).
The scope of the evaluation is defined by the security target, which identifies assumptions
made during the evaluation, the intended environment for Trustwave SIEM Enterprise
Version 2.3.3, and the security functional/assurance requirements. Consumers are advised to
verify that their operating environment is consistent with that specified in the security target,
and to give due consideration to the comments, observations and recommendations in this
certification report.
Communications Security Establishment, as the CCS Certification Body, declares that the
Trustwave SIEM Enterprise Version 2.3.3 evaluation meets all the conditions of the
Arrangement on the Recognition of Common Criteria Certificates and that the product will
be listed on the CCS Certified Products list (CPL) and the Common Criteria portal (the
official website of the Common Criteria Project).
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1 Identification of Target of Evaluation
The Target of Evaluation (TOE) for this EAL 2+ evaluation is Trustwave SIEM Enterprise
Version 2.3.3, from Trustwave Holdings, Inc..
2 TOE Description
Trustwave SIEM Enterprise Version 2.3.3 provides Security Information and Event
Management (SIEM) functionality to normalize and correlate security information received
from third party security devices. These third party security devices may include Trustwave
SIEM LME appliances, intrusion detection system/intrusion prevention system sensors
and/or scanners, firewalls, servers, or other types of systems capable of sending security
information to the TOE. The received information is correlated and analyzed by the TOE to
determine if any alerts should be generated.
A diagram of the Trustwave SIEM Enterprise Version 2.3.3 architecture is as follows:
3 Security Policy
Trustwave SIEM Enterprise Version 2.3.3 implements a role-based access control policy to
control administrative access to the system. In addition, Trustwave SIEM Enterprise Version
2.3.3 implements policies pertaining to the following security functional classes:
 Security Audit,
 Identification and Authentication,
 Security Management,
 Protection of the TOE Security Functions (TSF), and
 Intrusion Detection.
SE Administration
Console
Router
DA
Administrator
via Browser
Third Party Devices
SDW
TD/TE
Management Network
Enterprise Network
DA
Router
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4 Security Target
The ST associated with this Certification Report is identified below:
Trustwave SIEM Enterprise Security Target, Version 2.7, April 11, 2016.
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version 3.1 Revision 4, for conformance to the Common Criteria for
Information Technology Security Evaluation, Version 3.1 Revision 4.
Trustwave SIEM Enterprise Version 2.3.3 is:
a. EAL 2 augmented, containing all security assurance requirements listed, as well as the
following:
 ALC_FLR.2 – Flaw Reporting Procedures
b. Common Criteria Part 2 extended; with functional requirements based upon functional
components in Part 2, except for the following explicitly stated requirements defined in
the ST:
 IDS_ANL.1 - Analyser Analysis
 IDS_RCT.1 - Analyser React
 IDS_RDR.1 - Restricted Data Review
 IDS_STG.1 - Guarantee of Analyser Data Availability
c. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3.
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6 Assumptions and Clarification of Scope
Consumers of Trustwave SIEM Enterprise Version 2.3.3 should consider assumptions about
usage and environmental settings as requirements for the product’s installation and its
operating environment. This will ensure the proper and secure operation of the TOE.
6.1 Secure Usage Assumptions
The following Secure Usage Assumptions are listed in the ST:
 There will be one or more competent individuals assigned to manage the TOE and the
security of the information it contains.
 The authorized administrators are not careless, willfully negligent, or hostile, and
will follow and abide by the instructions provided by the TOE documentation.
 The TOE can only be accessed by authorized users.
6.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
 The TOE has access to all the IT System resources necessary to perform its functions.
 The processing resources of the TOE will be located within controlled access
facilities, which will prevent unauthorized physical access.
 The TOE components will be interconnected by a segregated management network
that protects the intra-TOE traffic from disclosure to or modification by untrusted
systems or users, and limits traffic from the enterprise network entering the
management network to security information from third party security devices being
sent via UDP to the DA components of the TOE.
 The TOE hardware and software critical to security policy enforcement will be
protected from unauthorized physical modification.
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7 Evaluated Configuration
The evaluated configuration for Trustwave SIEM Enterprise Version 2.3.3 comprises
Trustwave SIEM Enterprise Version 2.3.3 (Build 856) software running on the LME 2 and
the LME 3 physical and virtual appliances and the Trustwave SIEM Enterprise
Administration Console Version 2.3.3 (Build 197) running on Windows 7.
The publication entitled Trustwave SIEM Enterprise Common Criteria Supplement, Version
1.1, March 27, 2016 describes the procedures necessary to install and operate Trustwave
SIEM Enterprise Version 2.3.3 in its evaluated configuration.
8 Documentation
The Trustwave Holdings, Inc. documents provided to the consumer are as follows:
a. Trustwave SIEM Quick Start Guide, Version 2.3.1, March 2015
b. Trustwave SIEM Enterprise Administration Guide, Version 2.3.1, March 2015
c. Trustwave SIEM Enterprise User Guide, Version 2.3, November 2014
d. Trustwave SIEM Enterprise TD/TE Configuration Guide, Version 2.3, November 2014
e. Trustwave SIEM Enterprise Common Criteria Supplement, Version 1.1, March 27, 2016
f. Trustwave SIEM Enterprise/Log Management Enterprise - Deploying and Resizing the
Virtual Appliance, March 2014
g. Trustwave SIEM Enterprise VM Quick Start, December 2013
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9 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of Trustwave SIEM
Enterprise Version 2.3.3, including the following areas:
Development: The evaluators analyzed the Trustwave SIEM Enterprise Version 2.3.3
functional specification and design documentation; they determined that the design
completely and accurately describes the TOE security functionality (TSF) interfaces, the TSF
subsystems and how the TSF implements the security functional requirements (SFRs). The
evaluators analyzed the Trustwave SIEM Enterprise Version 2.3.3 security architectural
description and determined that the initialization process is secure, that the security functions
are protected against tamper and bypass, and that security domains are maintained. The
evaluators also independently verified that the correspondence mappings between the design
documents are correct.
Guidance Documents: The evaluators examined the Trustwave SIEM Enterprise Version
2.3.3 preparative user guidance and operational user guidance and determined that it
sufficiently and unambiguously describes how to securely transform the TOE into its
evaluated configuration and how to use and administer the product. The evaluators examined
and tested the preparative and operational guidance, and determined that they are complete
and sufficiently detailed to result in a secure configuration.
Life-cycle support: An analysis of the Trustwave SIEM Enterprise Version 2.3.3
configuration management system and associated documentation was performed. The
evaluators found that the Trustwave SIEM Enterprise Version 2.3.3 configuration items were
clearly marked.
The evaluators examined the delivery documentation and determined that it described all of
the procedures required to maintain the integrity of Trustwave SIEM Enterprise Version
2.3.3 during distribution to the consumer.
The evaluators reviewed the flaw remediation procedures used by developer for the
Trustwave SIEM Enterprise Version 2.3.3. During a site visit, the evaluators also examined
the evidence generated by adherence to the procedures. The evaluators concluded that the
procedures are adequate to track and correct security flaws, and distribute the flaw
information and corrections to consumers of the product.
All these evaluation activities resulted in PASS verdicts.
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10 ITS Product Testing
Testing consists of the following three steps: assessing developer tests, performing
independent functional tests, and performing penetration tests.
10.1 Assessment of Developer Tests
The evaluators verified that the developer has met their testing responsibilities by examining
their test evidence, and reviewing their test results, as documented in the ETR1
.
The evaluators analyzed the developer’s test coverage analysis and found it to be complete
and accurate. The correspondence between the tests identified in the developer’s test
documentation and the functional specification was complete.
10.2 Independent Functional Testing
During this evaluation, the evaluator developed independent functional tests by examining
design and guidance documentation.
All testing was planned and documented to a sufficient level of detail to allow repeatability
of the testing procedures and results. Resulting from this test coverage approach is the
following list of test goals:
a. Repeat of Developer's Tests: The objective of this test goal is to repeat a subset of the
developer's tests;
b. Concurrent Login: The objective of this test goal is to demonstrate that the TOE permits
concurrent user login and that they do not conflict;
c. Password Strength: The objective of this test goal is to demonstrate that the TOE enforces
password complexity rules;
d. Authentication Failure Handling: The objective of this test goal is to demonstrate how the
TOE handles an authentication failure; and
e. Session Locking: The objective of this test goal is to verify that the TOE will lock an
administrator session after a defined period of inactivity.
10.3 Independent Penetration Testing
Subsequent to the independent review of public domain vulnerability databases and all
evaluation deliverables, limited independent evaluator penetration testing was conducted.
The penetration tests focused on:
a. Use of automated vulnerability scanning tools to discover potential network, platform and
application layer vulnerabilities; and
b. Big 5 scan: The objective of this test goal is to scan for the current "Big 5"
vulnerabilities (Heartbleed, Shellshock, POODLE, GHOST, and FREAK).
1
The ETR is a CCS document that contains information proprietary to the developer and/or the evaluator, and
is not releasable for public review.
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The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
10.4 Conduct of Testing
Trustwave SIEM Enterprise Version 2.3.3 was subjected to a comprehensive suite of
formally documented, independent functional and penetration tests. The detailed testing
activities, including configurations, procedures, test cases, expected results and observed
results are documented in a separate Test Results document.
10.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
providing assurance that Trustwave SIEM Enterprise Version 2.3.3 behaves as specified in
its ST and functional specification.
11 Results of the Evaluation
This evaluation has provided the basis for an EAL 2+ level of assurance. The overall verdict
for the evaluation is PASS. These results are supported by evidence in the ETR.
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12 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
CCEF Common Criteria Evaluation Facility
CCS Canadian Common Criteria Evaluation and
Certification Scheme
CPL Certified Products list
CM Configuration Management
DA Data Acquisition
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
IT Information Technology
ITSET Information Technology Security
Evaluation and Testing
PALCAN Program for the Accreditation of
Laboratories - Canada
SDW Secure Data Warehouse
SE SIEM Enterprise
SIEM Security Information and Event
Management
SFR Security Functional Requirement
ST Security Target
TD Threat Detector
TE Threat Evaluator
TOE Target of Evaluation
TSF TOE Security Function
UDP User Datagram Protocol
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13 References
This section lists all documentation used as source material for this report:
a. CCS Publication #4, Technical Oversight, Version 1.8, October 2010.
b. Common Criteria for Information Technology Security Evaluation, Version 3.1
Revision 4, September 2012.
c. Common Methodology for Information Technology Security Evaluation, CEM,
Version 3.1 Revision 4, September 2012.
d. Trustwave SIEM Enterprise Security Target, Version 2.7, April 11, 2016.
e. Evaluation Technical Report Trustwave Holdings, Inc. SIEM Enterprise Version 2.3,
Version 1.0, April 14, 2016.